Maintaining Trading Participant Quality
An introduction of initiatives and measures to maintain the quality of trading participants (broker-dealers qualified to access directly the trading platforms of Tokyo Stock Exchange or Osaka Exchange).
Outline
An introduction of initiatives and measures to maintain the quality of trading participants (broker-dealers qualified to access directly the trading platforms of Tokyo Stock Exchange or Osaka Exchange).
Inspection plan
TOCOM Audit Plan
An introduction of the inspection policy and important points for inspection.
JPX-R Inspection Plan
TOCOM Audit Plan
Current Inspections and Inspection Results
An introduction of the current inspections.
Points of Consideration When Determining Disciplinary Actions
TOCOM’s Considerations for Sanctions
When a trading participant violates laws, regulations, or exchange rules, the exchange takes disciplinary action against the participant in accordance with exchange rules. This is an introduction of matters considered when determining whether to take disciplinary actions and the details of such actions.
Points of Consideration When Determining Disciplinary Actions on JPX-R
TOCOM’s Considerations for Sanctions
Trading Participant Internal Management System Checkpoints
An introduction to important points of major inspection areas for trading participant internal management systems based on past inspections.